The U.S. banking regulators’ have adopted final uncleared swap margin, capital and segregation requirements and an interim final margin rule with limited exemptions. We have summarized ...
The CFTC has acted on its long-stated intention to establish an exemptive regime for comparably regulated foreign swaps clearinghouses. In an article published on Friday in IFLR, Annette ...
An Interview with Partner Annette Nazareth
The Dodd-Frank Act was enacted as a response to the Great Recession of 2007, but what does this complex regulation do and has it fixed the probl...
As of the end of the third quarter of 2015, a total of 271 Dodd-Frank rulemaking requirement deadlines have passed. Of these 271 passed deadlines, 193 (71.2%) have been met with finalized...
On September 22, 2015, the Commodity Futures Trading Commission proposed modifications to its position limit aggregation requirements for owned entities (the “2015 Aggregation Proposal?...
On September 17, 2015, the Commodity Futures Trading Commission settled its first enforcement action involving an unregistered Bitcoin derivatives trading platform. Coinflip, Inc. operate...
FINRA recently adopted amendments to its equity research rules and an entirely new debt research rule. Among other things, the new equity rule permits firms to adopt shorter minimum resea...
On August 5, 2015, the SEC unanimously adopted final rules and forms for the registration of security-based swap dealers and major security-based swap participants. The final rules draw ...
This special Progress Report marks the five-year anniversary of the Dodd-Frank Act. To highlight the anniversary, we have developed a stats-driven infographic
looking at the implementati...
The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the SEC and CFTC to enforce security-based swap and swap regulatory requirements under Tit...
